20th Nov 2007 11:06
Credit Suisse Securities (Eur) Ltd20 November 2007 FORM 38.5 (b) DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS WITHOUT RECOGNISED INTERMEDIARY STATUS, OR WITH RI STATUS BUT NOT DEALING IN A CLIENT-SERVING CAPACITY (Rule 38.5(b) of the Takeover Code) 1. KEY INFORMATION Name of exempt principal trader Credit Suisse Securities (Europe) LimitedCompany dealt in Rio Tinto PlcClass of relevant security to which the dealings being Ordinary Sharesdisclosed relate (Note 1)Date of dealing 19-Nov-2007 2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE (a) Interests and short positions (following dealing) in the class of relevant security dealt in (Note 2) Long Short Number (%) Number (%) (1) Relevant securities -348,749 -0.03(2) Derivatives (other than options)(3) Options and agreements to purchase/sellTotal 348,749 -0.03 (b) Interests and short positions in relevant securities of the company, other than the class dealt in (Note 2)Class Of Relevant Security : Ordinary Shares ( AU000000RIO1 Long Short)(1) Relevant Securities(2) Derivatives (other than options)(3) Options and agreements to purchase/sellTotal (c) Rights to subscribe (Note 2) Class of relevant security: Details 3. DEALINGS (Note 3) (a) Purchases and sales Purchase/sale Number of securities Price per unit (Note 4) Buy 126000 103.5Buy 46 53.99Buy 46 53.93Buy 792 53.85Buy 17 53.85Buy 269 53.85Buy 825 53.82Buy 89 53.82Buy 46 53.75Buy 1085 53.9Buy 46 53.61Buy 18 53.61Buy 130 53.61Buy 962 53.61Buy 59 53.63Buy 229 53.63Buy 406 53.25Buy 1120 53.25Buy 35 53.25Buy 627 53.25Buy 1120 53.25Buy 54 53.25Buy 250 53.2Buy 8 53.2Buy 176 53.17Buy 447 53.11Buy 1072 53.2Buy 300 53.28Buy 210 53.28Buy 46 53.29Buy 500 53.12Buy 2104 53.12Buy 1102 53.12Buy 6 53.12Buy 377 53.12Buy 133 52.97Buy 24 52.94Buy 3712 52.9Buy 1147 53.08Buy 141 53.35Buy 348 53.35Buy 508 53.12Buy 692 53.12Buy 1200 53.12Buy 1200 53.12Buy 714 53.12Buy 1174 53.05Buy 1000 53.03Buy 408 53.01Buy 982 52.94Buy 201 52.94Buy 210 52.96Buy 2888 53.04Buy 1071 53.04Buy 560 53.2Buy 60 53.2Buy 560 53.2Buy 560 53.2Buy 308 53.2Buy 221 53.2Buy 1162 53.35Buy 18 53.16Buy 555 53.2Buy 26 53.2Buy 300 53.19Buy 18 52.96Buy 2472 53Buy 1298 52.97Buy 45 52.94Buy 17 52.94Buy 454 52.94Buy 13 52.94Buy 167 52.96Buy 302 52.96Buy 47 52.85Buy 47 52.79Buy 18 52.79Buy 296 52.79Buy 372 52.8Buy 270 52.8Buy 179 52.8Buy 1090 52.85Buy 502 52.7Buy 481 52.7Buy 883 52.73Buy 1713 52.77Buy 1158 52.63Buy 500 52.71Buy 340 52.71Buy 1000 52.71Buy 712 52.71Buy 218 52.72Buy 10 52.72Buy 1127 52.64Buy 1172 52.6Buy 1175 52.61Buy 28 52.73Buy 19 52.73Buy 518 52.81Buy 47 52.71Buy 47 52.62Buy 1154 52.6Buy 890 52.69Buy 1101 52.58Buy 1138 52.59Buy 256 52.62Buy 738 52.81Buy 280 52.81Buy 67 52.81Buy 229 53Buy 500 53.08Buy 500 53.08Buy 500 53.08Buy 122 53.08Buy 612 53.01Buy 1 53.01Buy 2184 53.2Buy 1164 52.88Buy 1157 52.89Buy 485 52.92Buy 852 52.89Buy 173 52.89Buy 1165 52.85Buy 502 52.85Buy 2139 52.85Buy 1577 52.6Buy 149 52.39Buy 220 52.43Buy 360 52.37Buy 647 52.38Buy 90 52.35Buy 400 52.36Buy 10 52.36Buy 492 52.35Buy 387 52.35Buy 29 52.35Buy 3716 52.35Buy 74 52.36Buy 145 52.36Buy 772 52.35Buy 500 52.39Buy 50 52.38Buy 1147 52.41Buy 2118 52.41Buy 250 52.41Buy 19 52.46Buy 47 52.46Buy 154 52.46Buy 678 52.48Buy 710 52.48Buy 50 52.43Buy 380 52.43Buy 20 52.41Buy 152 52.41Buy 3 52.41Buy 406 52.39Buy 103 52.41Buy 388 52.36Buy 144 52.36Buy 107 52.36Buy 886 52.43Buy 254 52.43Buy 47 52.17Buy 48 51.99Buy 800 52.04Buy 48 52.02Buy 48 51.92Buy 48 51.88Buy 48 51.74Buy 290 51.11Buy 853 51.11Buy 1191 50.66Buy 800 50.69Buy 17 50.69Buy 200 50.54Buy 382 50.54Buy 477 50.54Buy 1266 50.54Buy 991 50.9Buy 1186 50.99Buy 749 50.74Buy 37 50.74Buy 1000 50.76Buy 2769 50.76Buy 986 50.76Buy 1029 50.73Buy 1010 50.78Buy 574 50.9Buy 2 50.9Buy 3806 50.82Buy 1903 50.53Buy 1700 50.53Sell 1115 54.07Sell 587 54.04Sell 570 53.82Sell 721 53.8Sell 650 53.64Sell 499 53.64Sell 15 53.64Sell 18 53.66Sell 214 53.59Sell 232 53.59Sell 1074 53.46Sell 980 53.42Sell 969 53.1Sell 92 53.16Sell 204 53.16Sell 64 53.16Sell 167 53.16Sell 72 53.22Sell 1323 53.22Sell 1700 53.22Sell 619 53.22Sell 46 53.29Sell 219 53.35Sell 46 53.38Sell 215 53.39Sell 228 53.39Sell 1 53.39Sell 1117 53.18Sell 480 53.1Sell 480 53.14Sell 320 53.14Sell 6 53.12Sell 354 53.12Sell 416 53.12Sell 1141 52.96Sell 2602 53Sell 500 53Sell 704 53Sell 750 53.17Sell 750 53.17Sell 750 53.17Sell 500 53.17Sell 103 53.12Sell 611 53.07Sell 168 53.16Sell 234 53.16Sell 545 53.25Sell 55 53.25Sell 231 53.25Sell 560 53.25Sell 21 53.25Sell 213 53.25Sell 3 53.25Sell 560 53.25Sell 14 53.25Sell 100 53.29Sell 107 53.29Sell 2 53.29Sell 266 53.2Sell 4 53.2Sell 453 53.2Sell 401 53.23Sell 46 53.26Sell 18 53.26Sell 46 53.26Sell 47 53.07Sell 18 53.07Sell 47 53.07Sell 1000 53Sell 180 53Sell 243 52.99Sell 355 52.99Sell 2250 52.99Sell 250 52.99Sell 250 52.98Sell 250 52.98Sell 577 52.98Sell 18 53.06Sell 47 53.06Sell 47 53.06Sell 498 53.16Sell 1584 53.16Sell 1724 53.16Sell 204 53.1Sell 203 53.18Sell 145 53.18Sell 212 53.2Sell 46 53.24Sell 46 53.3Sell 637 53.33Sell 451 53.33Sell 579 53.3Sell 1299 53.28Sell 189 53.28Sell 237 53.3Sell 293 53.3Sell 37 53.28Sell 411 53.28Sell 146 53.32Sell 46 53.4Sell 46 53.71Sell 18 53.71Sell 46 53.71Sell 46 53.71Sell 46 53.59Sell 46 53.59Sell 46 53.29Sell 225 53.25Sell 139 53.25Sell 630 53.19Sell 500 53.19Sell 628 52.88Sell 473 52.88Sell 121 52.94Sell 141 52.94Sell 218 52.94Sell 782 52.94Sell 141 52.94Sell 58 52.95Sell 146 52.95Sell 910 52.93Sell 14 52.77Sell 165 52.77Sell 120 52.81Sell 567 52.76Sell 396 52.76Sell 1160 52.75Sell 20 52.76Sell 502 52.7Sell 47 52.76Sell 507 52.85Sell 158 52.85Sell 154 52.85Sell 894 52.81Sell 107 52.81Sell 159 52.81Sell 639 52.75Sell 106 52.75Sell 378 52.7Sell 92 52.7Sell 200 52.64Sell 60 52.63Sell 1452 52.6Sell 47 52.59Sell 19 52.59Sell 1095 52.65Sell 1116 52.72Sell 81 52.78Sell 640 52.72Sell 406 52.72Sell 42 52.72Sell 1012 52.8Sell 79 52.81Sell 117 52.81Sell 77 52.8Sell 209 52.8Sell 1122 52.75Sell 3806 52.8Sell 211 52.84Sell 100 52.84Sell 153 52.8Sell 215 52.8Sell 615 52.8Sell 500 52.62Sell 219 52.62Sell 221 52.58Sell 500 52.58Sell 239 52.58Sell 1165 52.65Sell 47 52.7Sell 47 52.7Sell 47 52.74Sell 256 52.8Sell 1091 52.8Sell 219 52.8Sell 204 52.8Sell 33 52.86Sell 47 52.86Sell 47 52.93Sell 532 52.91Sell 47 52.95Sell 47 53.05Sell 240 52.98Sell 1154 53Sell 922 52.8Sell 922 52.8Sell 922 52.8Sell 7 52.81Sell 922 52.8Sell 922 52.8Sell 922 52.8Sell 922 52.8Sell 56 52.8Sell 2000 52.86Sell 903 52.86Sell 47 52.93Sell 18 52.93Sell 152 52.89Sell 794 52.89Sell 47 52.96Sell 18 52.96Sell 109 52.93Sell 369 52.93Sell 198 52.86Sell 276 52.86Sell 705 52.86Sell 548 52.86Sell 355 52.85Sell 196 52.87Sell 47 52.91Sell 47 52.91Sell 18 52.91Sell 47 52.91Sell 18 52.91Sell 921 52.85Sell 208 52.85Sell 47 52.87Sell 18 52.87Sell 47 52.87Sell 18 52.87Sell 47 52.87Sell 988 52.8Sell 400 52.83Sell 35 52.81Sell 926 52.81Sell 216 52.81Sell 47 52.68Sell 18 52.68Sell 3806 52.63Sell 637 52.56Sell 132 52.56Sell 926 52.55Sell 926 52.55Sell 919 52.55Sell 164 52.55Sell 163 52.55Sell 285 52.55Sell 266 52.55Sell 146 52.55Sell 47 52.55Sell 767 52.55Sell 823 52.51Sell 316 52.5Sell 478 52.5Sell 230 52.46Sell 19 52.44Sell 19 52.44Sell 47 52.44Sell 4 52.44Sell 47 52.44Sell 47 52.46Sell 47 52.46Sell 19 52.46Sell 384 52.42Sell 214 52.42Sell 561 52.42Sell 341 52.39Sell 47 52.47Sell 8 52.47Sell 19 52.47Sell 47 52.45Sell 6 52.45Sell 19 52.45Sell 499 52.39Sell 999 52.39Sell 999 52.39Sell 1196 52.4Sell 113 52.39Sell 19 52.46Sell 47 52.46Sell 292 52.5Sell 199 52.5Sell 389 52.5Sell 1087 52.39Sell 89 52.32Sell 211 52.32Sell 1 52.4Sell 1 52.4Sell 8 52.4Sell 19 52.4Sell 961 52.4Sell 19 52.47Sell 1 52.25Sell 7 52.01Sell 2 52.01Sell 3 52.01Sell 100 52.05Sell 725 52.05Sell 1 51.94Sell 269 52.08Sell 269 52.08Sell 840 51.73Sell 240 51.73Sell 318 51.68Sell 500 51.6Sell 120 51.56Sell 380 51.56Sell 100 51.56Sell 300 51.56Sell 300 51.56Sell 5 51.47Sell 2 51.47Sell 4 51.51Sell 1062 51.49Sell 125 51.16Sell 432 51.13Sell 60 51.07Sell 101 51.07Sell 298 51.07Sell 221 51.07Sell 4 51.03Sell 4 51.04Sell 1 51.04Sell 152 51Sell 28 51Sell 1100 51Sell 523 51Sell 382 51Sell 67 51Sell 49 51Sell 24 51Sell 1190 50.7Sell 1194 50.67Sell 5 50.52Sell 1026 50.85Sell 1026 50.85Sell 1026 50.85Sell 102 50.85Sell 28 50.93Sell 265 50.96Sell 42 50.96Sell 1099 50.96Sell 598 50.96Sell 240 50.96Sell 225 50.75Sell 200 50.68Sell 200 50.68Sell 1181 50.78Sell 300 50.86Sell 935 50.86Sell 232 50.72Sell 994 50.72Sell 233 50.65Sell 233 50.65Sell 400 50.65Sell 400 50.65Sell 800 50.65Sell 1740 50.65Sell 825 50.85Sell 2981 50.85Sell 600 50.95Sell 408 50.91Sell 124 50.91Sell 1078 50.91Sell 120 50.89Sell 480 50.89Sell 480 50.89Sell 500 50.84Sell 200 50.94Sell 275 50.84Sell 480 50.84Sell 520 50.84Sell 2104 50.53Sell 2104 50.53Sell 2104 50.53Sell 2104 50.53Sell 2104 50.53 TOTAL BUYS:241305 TOTAL SELLS:156267 (b) Derivatives transactions (other than options) Product name, e.g. CFD Long/short (Note 5) Number of securities (Note 6) Price per unit (Note 4) (c) Options transactions in respect of existing securities (i) Writing, selling, purchasing or varying Product Writing, selling, Number of securities to Exercise Type, e.g. Expiry Option money paid/name,e.g. call purchasing, varying which the option relates price American, date received per unitoption etc. (Note 6) European etc. (Note 4) (ii) Exercising Product name, e.g. call option Number of securities Exercise price per unit (Note 4) (d) Other dealings (including new securities) (Note 3) Nature of transaction (Note 7) Details Price per unit (if applicable) (Note 4) 4. OTHER INFORMATION Agreements, arrangements or understandings relating to options or derivatives Full details of any agreement, arrangement or understanding between the person disclosing and any other person relatingto the voting rights of any relevant securities under any option referred to on this form or relating to the votingrights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form isreferenced. If none, this should be stated. Is a Supplemental Form 38.5(b) attached? (Note 8) Yes Date of disclosure 20-Nov-2007Contact name Collins, CarolynTelephone number 44 20 7888 0241Name of offeree/offeror with which connected Rio Tinto PlcNature of connection (Note 9) ADVISOR Notes The Notes on Form 38.5(b) can be viewed on the Takeover Panel's website at http://www.thetakeoverpanel.org.uk/. Supplemental Form 8 DETAILS OF OPEN POSITIONS Product Description Written/Purchased No. of Securities Exercise Price Type Expiry Date CALL OPTION Purchased 1000000 42 (GBP) American 16-Nov-2007CALL OPTION Purchased 500000 43 (GBP) American 16-Nov-2007CALL OPTION Purchased 650000 45 (GBP) American 16-Nov-2007CALL OPTION Purchased 400000 46 (GBP) American 16-Nov-2007CALL OPTION Purchased 10000 56 (GBP) American 16-Nov-2007CALL OPTION Purchased 2000 58 (GBP) American 16-Nov-2007CALL OPTION Purchased 2000 58 (GBP) American 16-Nov-2007CALL OPTION Purchased 3000 58 (GBP) American 16-Nov-2007CALL OPTION Purchased 3000 58 (GBP) American 16-Nov-2007PUT OPTION Purchased 146000 56 (GBP) American 16-Nov-2007PUT OPTION Purchased 5000 56 (GBP) American 16-Nov-2007PUT OPTION Purchased 3000 56 (GBP) American 16-Nov-2007PUT OPTION Purchased 5000 56 (GBP) American 16-Nov-2007PUT OPTION Purchased 9000 56 (GBP) American 16-Nov-2007 Notes 1. Where there are open option positions or open derivative positions (except for CFDs), full details should be given.Full details of any existing agreements to purchase or to sell should also be given on this form. 2. For all prices and other monetary amounts, the currency must be stated. For details of the Code's dealing disclosure requirements, see Rules 8 and 38.5 and their Notes which can beviewed on the Takeover Panel's website at http://www.thetakeoverpanel.org.uk/. This information is provided by RNS The company news service from the London Stock ExchangeRelated Shares:
Rio Tinto